Compliance Specialist – Regulatory Affairs & Training

UMB Bank; Kansas City (MO); Sur place; USD 82 000 - 120 000; Plein temps

Avantages offerts par ce poste

Paid Time Off

401(k) matching program

Annual incentive pay

Health insurance

Résumé du poste

UMB Financial Services Inc (UMBFSI) seeks an experienced compliance professional to oversee electronic communications, social media, correspondence, and branch office exams. You will monitor regulatory developments from FINRA, SEC, MSRB and other bodies while guiding regulatory filings and inquiries.

The role requires a bachelor’s degree with five years of compliance experience and a FINRA Series 7 license (Series 24/52/53/66 a plus). Location: Kansas City, MO area with competitive benefits.

Qualifications

• Bachelor’s degree or equivalent education and experience required.
• Five (5) years of relevant compliance experience required.
• FINRA Series 7 required; Series 24/52/53/66 beneficial or attainable within 90 days where stated.

Responsabilités

• Oversee electronic communications, social media, correspondence, and branch office exams.
• Monitor and review regulatory developments from FINRA, SEC, MSRB and others.
• Prepare regulatory filings and respond to regulatory inquiries.

Connaissances

Regulatory compliance

Regulatory monitoring

Training development

Formation

Bachelor's degree or equivalent education and experience

MBA

Outils

FINRA Series 7

FINRA Series 24

FINRA Series 52/53/66

Description du poste

UMB Financial Services Inc (UMBFSI) seeks an experienced compliance professional to oversee electronic communications, social media, correspondence, and branch office exams. You will monitor regulatory developments from FINRA, SEC, MSRB and other bodies while guiding regulatory filings and inquiries.

The role requires a bachelor’s degree with five years of compliance experience and a FINRA Series 7 license (Series 24/52/53/66 a plus). Location: Kansas City, MO area with competitive benefits.